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Financial Services Regulation

This network is for financial professionals interested in staying up to date on financial services regulation happening anywhere in the world. CFOs, bankers, fund managers, treasurers welcome.

Simon Luke

Simon Luke UK Country Manager at First AML

The c-suite confidence crisis: why anti-money laundering needs to be a boardroom issue

When you think of money laundering, you may picture an underworld of hidden criminals doing dark deeds. You may also think of the real world consequences, which can result in the exploitation of vulnerable people across the globe. Clearly, our collective goal needs to be disrupting the flow of dirty money wherever possible. With such high stakes, ...

/regulation /crime

Robert Houghton

Robert Houghton Founder at Insightful Technology

Three steps to ensure accurate compliance evaluation

Remaining compliant in today’s financial landscape is no easy feat. Every call, message, communication and snippet of information shared between employees, customers and trading partners must be captured, stored and monitored to prove compliance. To regulators, every financial institution is potentially guilty of wrongdoing, until proven innocent....


Nitya Srinivas

Nitya Srinivas Domain Consultant at TCS

UK Pension Dashboard – Opportunities to enhance customer experience

Abstract The current macro-economic situation and high inflation has made individuals concerned whether their savings and pensions will be adequate for a comfortable retirement income. This concern is compounded by the fact that there is no consolidated view available to them across all the pension plans and no simple way to trace “lost” pensions....


Luigi Wewege

Luigi Wewege President at Caye International Bank

Navigating the Grey Zone: The Double-Edged Sword of Anonymous Messages in Market Dynamics

Information has become as valuable as currency in the current financial sector globally, especially in investment circles. As such the impact of anonymous messages on market dynamics has become a topic of immediate concern. Recent events have thrust this issue into the limelight, highlighting the urgent need for a deeper understanding of how undis...

/regulation /markets

Robert Houghton

Robert Houghton Founder at Insightful Technology

Top four compliance trends to watch in 2024

As financial institutions gear up for the next 12 months, it’s time to reflect on the key trends and developments, considering how they’ll shape the year ahead. While the financial landscape is constantly evolving, we believe there are four important issues that will shape 2024: 1. AI-powered compliance AI and automation are the buzzwords of the y...

/regulation /predictions

Domenico Scaffidi

Domenico Scaffidi Payments Business Development Director at Volante Technologies

Behind the scenes of the Migration of the SEPA payment schemes to the 2019 version of ISO 20022 post

Let’s start saying veterans like me haven’t been surprised that much reading the EPC bulletin on SEPA Migration to the 2019 version of ISO 20022, announcing the decision to postpone the go live. People like me with grey hair can’t forget the time when SEPA went live, where for almost one week no one of us left our desk in the office, trying to fix...

/payments /regulation

Mireia Tomàs

Mireia Tomàs Marketing Manager at Triple

PSD3: What Is It and What Does It Affect?

PSD3, the anticipated upgrade to PSD2, emerged in late 2018, marking a regulatory stride five years after PSD2's introduction. The renewed Payment Services Directive aims to encompass a broader scope than its predecessor, reflecting the ever-evolving landscape of electronic payments and the entrance of new providers offering open banking services....


Mireia Tomàs

Mireia Tomàs Marketing Manager at Triple

Enriched payment data: Exploring the AN 4569

Data is one of the most valuable assets, transforming industries in unprecedented ways. Among these industries, are finance and payments where data plays a critical role. This blog post will discover the new Mastercard Mandate and its implications for banks and fintech companies. What is AN 4569 Revised Standards? When we talk about AN 4569 we are...


Robert Houghton

Robert Houghton Founder at Insightful Technology

Six steps to ensure compliance in a work-anywhere world

The battle about operating at home, in the office or other locations continues to rage in financial services. Yet in many ways, the debate is irrelevant. The genie is out of the bottle. Ignoring it – even if very few people work from home in an organisation – simply increases risk. This stems from regulators’ calls for a level playing field acros...

/regulation /people

Anna Monteiro

Anna Monteiro Global Head of Business and Product Development at

SEC Adopts Short Selling Reporting Rule 13f-2

In a vote of 3-2, the SEC adopted new rule 13f-2 and related Form SHO to provide greater transparency of short sale data from which is in response to Section 929X of the Dodd-Frank Wall Street Reform and Consumer Protection Act, which requires the Commission to prescribe rules to make certain short sale related data publicly available. Until now,...

/regulation /markets

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